SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


Comments on Proposed Rule
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account

(Rel. No. IA-1682; File No. S7-29-97)

  • Comments of Jeffrey S. Molitor, Principal, Director of Portfolio Review, Vanguard Group, Inc., Valley Forge, Penn., January 23, 1998. (File name: molitor1.txt)

  • Comments of John G. Gaine, President, Managed Funds Association, Palo Alto, Calif., January 22, 1998. (File name: gaine1.htm)

  • Comments of Pierre de Saint Phalle, Davis Polk & Wardwell, January 20, 1998. (File name: saintph3.htm)

  • Comments of Leonard B. Mackey, Jr., Rogers & Wells, New York, N.Y., January 20, 1998. (File name: mackey2.htm)

  • Comments of Carolyn S. Reiser, Shartsis, Friese & Ginsburg LLP, San Francisco, Calif., January 20, 1998. (File name: reiser1.htm)

  • Comments of Sherman C. Green, Investor/Retiree, December 17, 1997. (File name: green2.txt)

Modified: 01/28/98